Nancy L. Bockler
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Nancy Louise Bockler, who also goes by Nancy L Brannin, Nancy Louise Brannin, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1983. Nancy had worked at 6 firms and has passed the Series 63, Series 6 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2008 - September 18, 2012
STATE FARM VP MANAGEMENT CORP.
May 10, 2005 - February 5, 2008
STATE FARM VP MANAGEMENT CORP.
September 25, 2003 - February 28, 2005
ALLSTATE FINANCIAL SERVICES, LLC
January 15, 2003 - September 18, 2003
THE O.N. EQUITY SALES COMPANY
September 8, 2000 - December 31, 2002
FARMERS FINANCIAL SOLUTIONS, LLC
February 4, 2000 - September 8, 2000
INVESTORS BROKERAGE SERVICES, INC.
April 15, 1988 - May 20, 1991
AETNA LIFE INSURANCE AND ANNUITY COMPANY
June 19, 1983 - February 17, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 4/11/1979
Non-Member General Securities ExaminationCurrent Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
